Regulations Governing Futures Advisory Enterprises Article 26
The responsible person and associated persons of a futures advisory enterprise shall faithfully carry out their duties in keeping with the principle of good faith and honesty.In addition to conduct prohibited under Article 63 of the Futures Trading Act, the enterprise and the persons referred to in the preceding paragraph may not engage in the following conduct:1. Entering into futures advisory mandate contracts by means of fraud, coercion, or other improper methods.2. Engaging in conduct involving falsehood, concealment, fraud, or other conduct obviously inconsistent with fact or that would be sufficient to cause mistaken confidence on the part of others.3. Using the futures trading research, opinions, recommendations, published materials, or lecture courses produced for a principal with the intent of seeking benefits for oneself, another principal, or a third party.4. Engaging in futures trading analysis under an unregistered name or a name other than one's real name.5. Directly or indirectly establishing a fixed place of business outside the place of business of the company or a branch office for the signing of mandate contracts with principals, provided that where otherwise provided by the competent authority, this restriction shall not apply.6. Disclosing matters entrusted by a principal or other secrets gained in the course of business, except in accordance with an inquiry undertaken pursuant to the law.7. Handling the production, reporting, announcement, display, or safekeeping of any account books, statistical tables, or documents required by law or regulation in contravention of regulations or making false entries.8. Failing to provide account books, statistical tables, documents, promotional materials, advertisements, or other reference reporting materials within the specified time per order of the competent authority, or refusing or impeding an investigation of the competent authority undertaken pursuant to applicable law.9. Taking into custody or appropriating the funds, personal seal, or passbook of a principal.10. Borrowing funds from a principal or acting as an intermediary in such borrowing.11. Agreeing to undertake futures trading on a fully discretionary basis.12. Producing advertising or promotional materials in contravention of laws or regulations.13. Using another's name or allowing another to use one's name to carry out business operations.14. Opening a futures trading account or making futures trades on behalf of another.15. Using persons not employed by the enterprise to carry out futures advisory related business.16. Violating the self-regulatory rules of the Futures Association.17. Engaging in any other conduct in violation of laws and regulations governing securities and futures management or prohibited by the regulations of the competent authority.Persons referred to in the preceding paragraph also may not engage in any other conduct which, by law and regulation, is prohibited for securities advisory enterprises.Personnel other than associated persons may not engage in any conduct set out in the preceding two paragraphs, nor may they carry out the duties of an associated person or act as proxy for them.Administrative regulations governing futures trading by the responsible person, associated persons, or other personnel at a futures advisory enterprise or their spouses shall be adopted by the Futures Association and submitted to the competent authority for recordation; the same shall be true for any amendments thereto.
中文原文 期貨顧問事業管理規則第26條
期貨顧問事業負責人及業務員應本誠實及信用原則，忠實執行業務。
前項事業及人員，除不得有本法第六十三條所禁止之行為外，並不得有下列行為：
一、以詐欺、脅迫或其他不正當方式簽訂期貨顧問委任契約。
二、為虛偽、隱匿、詐欺或其他顯有違背事實或足致他人誤信之行為。
三、意圖利用對委任人之期貨交易研究分析意見或建議、發行之出版品或舉辦之講習，謀求自己、其他委任人或第三人利益之行為。
四、以非登記名稱或非真實姓名從事期貨交易分析。
五、於其本公司或分支機構之營業場所外，直接或間接設置固定場所與委任人簽訂委任契約。
但主管機關另有規定者，不在此限。
六、非依法令所為之查詢，而洩露委任人委任事項及其他業務上所獲悉之秘密。
七、對於依法令規定之帳簿、表冊、文件，未依規定製作、申報、備置、保存或為虛偽之記載。
八、對主管機關命令提出之帳簿、表冊、文件、宣傳資料、廣告物或其他參考報告資料，屆期不提出，或對主管機關依法所為之檢查予以拒絕或妨礙。
九、保管或挪用委任人之款項、印鑑或存摺。
十、與委任人有借貸款項或為借貸款項之媒介情事。
十一、接受全權委託進行期貨交易。
十二、製作廣告及宣傳資料有違反法令規定之情事。
十三、利用他人名義或由他人利用自己名義執行業務。
十四、代理他人開立期貨交易帳戶或從事期貨交易。
十五、利用非公司受雇人從事期貨顧問有關業務。
十六、違反同業公會訂定之自律規範。
十七、其他違反證券暨期貨管理法令或經主管機關規定不得為之行為。
前項人員執行業務，對依法令期貨顧問事業不得為之行為，亦不得為之。
非業務員之其他從業人員除不得有前二項情事外，亦不得執行業務員職務或代理業務員職務。
期貨顧問事業負責人、業務員、其他從業人員及其配偶從事期貨交易之相關管理規範，由同業公會訂定，申報主管機關備查；其修正時亦同。
前項事業及人員，除不得有本法第六十三條所禁止之行為外，並不得有下列行為：
一、以詐欺、脅迫或其他不正當方式簽訂期貨顧問委任契約。
二、為虛偽、隱匿、詐欺或其他顯有違背事實或足致他人誤信之行為。
三、意圖利用對委任人之期貨交易研究分析意見或建議、發行之出版品或舉辦之講習，謀求自己、其他委任人或第三人利益之行為。
四、以非登記名稱或非真實姓名從事期貨交易分析。
五、於其本公司或分支機構之營業場所外，直接或間接設置固定場所與委任人簽訂委任契約。
但主管機關另有規定者，不在此限。
六、非依法令所為之查詢，而洩露委任人委任事項及其他業務上所獲悉之秘密。
七、對於依法令規定之帳簿、表冊、文件，未依規定製作、申報、備置、保存或為虛偽之記載。
八、對主管機關命令提出之帳簿、表冊、文件、宣傳資料、廣告物或其他參考報告資料，屆期不提出，或對主管機關依法所為之檢查予以拒絕或妨礙。
九、保管或挪用委任人之款項、印鑑或存摺。
十、與委任人有借貸款項或為借貸款項之媒介情事。
十一、接受全權委託進行期貨交易。
十二、製作廣告及宣傳資料有違反法令規定之情事。
十三、利用他人名義或由他人利用自己名義執行業務。
十四、代理他人開立期貨交易帳戶或從事期貨交易。
十五、利用非公司受雇人從事期貨顧問有關業務。
十六、違反同業公會訂定之自律規範。
十七、其他違反證券暨期貨管理法令或經主管機關規定不得為之行為。
前項人員執行業務，對依法令期貨顧問事業不得為之行為，亦不得為之。
非業務員之其他從業人員除不得有前二項情事外，亦不得執行業務員職務或代理業務員職務。
期貨顧問事業負責人、業務員、其他從業人員及其配偶從事期貨交易之相關管理規範，由同業公會訂定，申報主管機關備查；其修正時亦同。